Course Information
Keys to Being an Effective Audit Senior
Parking for SAO, Professional Development courses is in Garage B (1511 San Jacinto Blvd.). The Garage signage may read 1511 San Jacinto or Garage B. The elevator in Garage B is not reliable. If you are unable to walk the stairs, please contact the professionaldevelopment@sao.texas.gov for alternate parking arrangements. Handicapped parking is free at the meters around the downtown area.
A course coordinator will Email you a parking permit prior to the course start date. A permit must be displayed or you will be ticketed.
Course Description
This one-day session helps professionals advance and become an effective Audit Senior. New audit team leaders must supervise and produce audit work and continually balance a hectic schedule so that every project meets audit management expectations.
This training seminar gives audit seniors insight into how to review a file, manage a project and drafting audit reports. Additionally, this course will cover the interpersonal skills to supervise the audit team and interactions with auditees, even audit management. Auditors should not get promoted without taking this training seminar.
This timely, one-day training seminar is designed for the internal auditor moving up to a team leadership position and others who have to create lead small audit teams.
Course Objectives
Upon completion of this course, participants will be able to:
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Attendees will learn how to identify audit risk and appropriate audit planning tools and techniques
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Attendees will learn how to evaluate existing audit documentation
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Attendees will discover the best techniques for team management
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Attendees will discuss interpersonal and team-building skills
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Attendees will understand the audit report creation process
Outline
I. Introduction and Background
a. What are the Roles and Responsibilities of an Audit Senior?
b. The Evolution of Staff to Senior
II. The Risk Assessment Process
a. Audit Senior Role
b. Audit Preliminary Work
c. Audit Preliminary Risk Assessment
III. Audit Interviews
a. Interview Techniques
b. Documenting an Interview
IV. Managing an Audit Engagement
a. Appropriate Audit Planning
b. Developing an Audit Workprogram
c. Managing a Budget and Schedule
d. Delineation of Duties
e. Reviewing an Audit File
V. Managing an Audit Team
a. Personality Types/Styles
b. Managing Minimal Age Differences
c. Deadline Management
VI. Internal Audit Wrap-Up
a. Audit Reporting
b. Effective Exit Conferences
c. Audit Follow-Up
VII. Managing Up
VIII. Interpersonal Skills
IX. Managing the Auditee
X. Creating/Reviewing Audit Findings and Reports
Instructors
Danny M. Goldberg is a well-known speaker on internal auditing and People-Centric Skills. Danny co-authored People-Centric© Skills: Communication and Interpersonal Skills for Internal Auditors, via Wiley Publications. This is the first book published specifically to address the wide-ranging topic of communication skills for internal auditors. It has been offered through the IIA and ISACA bookstores since July 2015 and has sold over 3,000 copies (through April 2018).
Danny has over 21 years of professional experience, including five years leading/building internal audit functions. Danny was named as one of the Fort Worth Business Press 40 Under 40 for 2014. Danny is also accredited as the Professional Commentator of the Bureau of National Affairs - Internal Audit: Fundamental Principles and Best Practices (Professional Commentator). This book was authored by renowned audit scholars Curtis C. Verschoor and Mort A. Dittenhofer – co-author of Sawyer’s Internal Auditing.
Additional Information
TAC Rule 523.142(g) requires the CPE Sponsor to monitor individual attendance and assign the correct number of CPE credits. Participants will be asked to document their time of arrival and departure in compliance with this Rule. Additionally, attendance will be monitored throughout the day and CPE certificates will reflect actual attendance of each participant.
If you are making travel plans to come to Austin, we recommend making "refundable" air and hotel reservations or waiting until 14 days before the class to actually book your reservations. Courses are occasionally canceled or rescheduled due to low enrollment. We determine whether a course has enough participants 16 days prior to the course date. If we cancel or reschedule, we will email the participant and his or her billing contact no later than 14 days before the original class date.
The course coordinator will contact you with parking information. Handicapped parking is free at the meters around the downtown area.
Vending machines with Coca-Cola products and various snack items are available. There is also a refrigerator and microwave in our coffee bar area. Feel free to bring in your own drinks and food if you prefer.
You might want to bring a light sweater or jacket, as room temperatures vary.
To see answers to our Frequently Asked Questions, visit http://www.sao.texas.gov/training/faq.html.